SEC
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations (such as Regulation Best Interest), enforcement actions and related activities.
Warren Presses SEC on 2025 Enforcement Numbers
By Melanie WaddellOfficial data has been "unreasonably delayed" as third-party analyses show a decline in activity, the senator says.
February 27, 2026
How to Stay Out of TroubleEven if you think you're not hurting anyone, the consequences of bending or breaking the rules can be serious.
February 26, 2026
FINRA Bars Ex-Morgan Stanley Advisor Over Refusal to Share Info for ProbeThe advisor joined an RIA the month after his Morgan Stanley dismissal.
February 26, 2026
SEC Bars Advisor Who Took $9.8M From Older ClientEjiro Ode Okuma used funds to build a luxury residence, purchase vehicles and buy vacation homes, the agency says.
February 26, 2026
Ritholtz to Launch Its First ETFThe actively managed Goaltender ETF will adjust stock exposure based on market trends.
February 24, 2026
SEC Closes LPL Cash Sweep ProbeThe firm still faces class action lawsuits over low rates paid on cash and says it will defend itself.
February 23, 2026
Massachusetts Advisor, Firm to Pay $150,000 in Annuity Switching CaseJeffrey Cutter and his firm failed to disclose significant upfront commissions and other conflicts of interest, a jury found.
February 20, 2026
SEC Updates FAQ on Controversial Fund Names RuleThe new FAQ signals a looser interpretation of the rule.